Broker Account

The Broker Account screen manages and maintains access person’s broker account information. Click the Broker Account in the left navigation menu under Access Person and a new Broker Account Tab folder will be created in the right panel. There are 3 sub-Tab folders: Search Broker Account, Search Result Broker Account and Create New Broker Account.

Broker Account search screen

Search Broker Account

Search Criteria

Field Name Description
Account Number The account number with the brokerage.
Access Person The access person that account belongs to.
Account Name The account name.
Broker The broker name
Established Date The date when the access person opened the account with the brokerage.
Closed Date The date when the account is closed.
Account Type The type of the account
Org Unit Code The org unit this Broker Account belongs to.
CreatedByDate Date and Time when this entry was created
CreatedByUser User who created this entry.
ModifiedByDate Last modified date and time.
ModifiedByUser Last modified user.
AND Select AND radio box if you want those criteria added together.
OR Select OR radio box if you want to get the result if either of the criteria is met.

Functional buttons

  • Find: – click the Find button to search.
  • Clear:– click the Clear button to clear all the criteria.

Search Result Broker Account

Broker Account search result screen

The top part is the table which shows the list of the Broker Account that meet the search criteria. The bottom part is the details and Related person of the selected entry. Each entry can have 0 to many related persons.

Update/Delete Broker Account

Double Click the selected record in the table to modify this entry. A new tab folder “Update/Delete Broker Account” will be added, as shown below.

Broker Account update/delete screen

Functional buttons

  • Update: – Make changes on the Broker Account and save and switch back to “Search result Broker Account” Tab. Some of the fields in this form are read only, like broker account, created/modified user, and date.

  • Reset:– Reset the data to its initial value and discard all the changes.

  • Cancel:– Cancel this change and switch back to “Search result Broker Account” Tab.

  • Delete:– Delete this entry; then switch back to “Search result Broker Account” Tab. If the Broker Account has been assigned to users

    and the user has submitted the Broker Account, the Broker Account cannot be deleted.

  • Related AP:– Open a popup window to assign/un-assign the Broker Account to another access person.

Create New Broker Account

Select the “Create New Broker Account” Tab to create a new entry.

Broker Account create new screen
Field Name Description
Account Number The account number with the brokerage.
Access Person The access person that account belongs to.
Account Name The account name.
Broker The broker name.
Established Date The date when access person open the account with the brokerage.
Closed Date The date when the account is closed.
Account Type The type of the account.
Org Unit Code The org unit this Broker Account belongs to.
Comments Add comments.
Broker Contact Broker contact information.
407 Req Letter 407 Request letter to ask broker to send duplicate confirmation transaction.
CreatedByDate Date and Time when this Broker Account entry was created. It is a read only field.
CreatedByUser User who created this this Broker Account entry. It is a read only field.
ModifiedByDate Last modified date and time; It is a read only field.
ModifiedByUser Last modified user; It is a read only field.

Functional buttons

  • Create: – Click the Create button to create a new Broker Account entry and switch to the “Search result Broker Account” Tab. account number, account name, access person, broker, and org unit code are mandatory fields; if any of them is empty, an error message will show.
  • Clear:– Click the Clear button to clear all the fields
  • Cancel:– Click the Cancel button to cancel the operation and switch back to the “Search result Broker Account” Tab.